NWBO

Northwest Biotherapeutics, Inc. NWBO

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
LF Woodford Equity Income Fund United Kingdom 0 18316679 0 18316679 18316679 3.5 % 14/02/2019
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 4.8 % 14/02/2019
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 4.8 % 14/02/2019
CF Woodford Equity Income Fund United Kingdom 0 18316679 0 18316679 18316679 5.8 % 13/02/2018
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 7.9 % 13/02/2018
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 7.9 % 13/02/2018
Daniel B. Asher United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
Mitchell P. Kopin United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
Intracoastal Capital LLC United States of America 0 11468269 0 11468269 11468269 3.6 % 13/02/2018
CVI Investments, Inc. Cayman Islands 0 11514993 0 11514993 11514993 3.5 % 09/02/2018
Heights Capital Management, Inc. Delaware 0 11514993 0 11514993 11514993 3.5 % 09/02/2018
Heights Capital Management, Inc. 11514993 3.5 % 09/02/2018
CVI Investments, Inc. 11514993 3.5 % 09/02/2018
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 11396828 0 11396828 11396828 3.61 % 09/01/2018
Sabby Management, LLC Delaware USA 0 15761350 0 15761350 15761350 4.99 % 09/01/2018
Hal Mintz USA 0 15761350 0 15761350 15761350 4.99 % 09/01/2018
Sabby Healthcare Master Fund, Ltd. Cayman Islands 0 15761350 0 15761350 15761350 4.99 % 09/01/2018
CF Woodford Equity Income Fund United Kingdom 0 18316679 0 18316679 18316679 6.2 % 11/09/2017
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 8.4 % 11/09/2017
Hal Mintz USA 0 22553659 0 22553659 22553659 9.99 % 01/06/2017
Sabby Management, LLC Delaware USA 0 22553659 0 22553659 22553659 9.99 % 01/06/2017
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 7575877 0 7575877 7575877 3.36 % 01/06/2017
Sabby Healthcare Master Fund, Ltd. Cayman Islands 0 14977782 0 14977782 14977782 6.63 % 01/06/2017
Intracoastal Capital LLC United States of America 0 11974038 0 11974038 11974038 6.3 % 24/03/2017
Mitchell P. Kopin United States of America 0 11974038 0 11974038 11974038 6.3 % 24/03/2017
Daniel B. Asher United States of America 0 11974038 0 11974038 11974038 6.3 % 24/03/2017
Intracoastal Capital LLC United States of America 0 6612500 0 6612500 6612500 4 % 24/03/2017
Daniel B. Asher United States of America 0 6612500 0 6612500 6612500 4 % 24/03/2017
Mitchell P. Kopin United States of America 0 6612500 0 6612500 6612500 4 % 24/03/2017
Heights Capital Management, Inc. 8237545 5.3 % 10/02/2017
Heights Capital Management, Inc. 8237545 5.3 % 10/02/2017
CVI Investments, Inc. 8237545 5.3 % 10/02/2017
CVI Investments, Inc. 8237545 5.3 % 10/02/2017
Daniel B. Asher United States of America 0 9238300 0 9238300 9238300 5.8 % 06/02/2017
Mitchell P. Kopin United States of America 0 9238300 0 9238300 9238300 5.8 % 06/02/2017
Intracoastal Capital LLC United States of America 0 9238300 0 9238300 9238300 5.8 % 06/02/2017
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 16.1 % 10/01/2017
Neil Woodford United Kingdom 0 24815028 0 24815028 24815028 16.1 % 10/01/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 16.1 % 10/01/2017
Woodford Investment Management Ltd United Kingdom 0 24815028 0 24815028 24815028 16.1 % 10/01/2017
CF Woodford Equity Income Fund United Kingdom 0 18316679 0 18316679 18316679 11.9 % 10/01/2017
Intracoastal Capital LLC United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
Mitchell P. Kopin United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
Daniel B. Asher United States of America 0 9692500 0 8243000 9692500 6.1 % 29/12/2016
CVI Investments, Inc. 9525000 6.2 % 29/12/2016
Heights Capital Management, Inc. 9525000 6.2 % 29/12/2016
Heights Capital Management, Inc. 9525000 6.2 % 29/12/2016
CVI Investments, Inc. 9525000 6.2 % 29/12/2016
The Karen L. Mehiel Siblings Trust : New York 50000 0 50000 0 50000 0.1 % 27/01/2016
Dennis Mehiel : United States 4065949 50000 4015949 50000 4065949 4.2 % 27/01/2016
Four M Purchasers LLC : Delaware 2146936 0 2146936 0 2146936 2.2 % 27/01/2016
CF Woodford Equity Income Fund United Kingdom 0 14280316 0 14280316 14280316 18.3 % 09/09/2015
CF Woodford Equity Income Fund United Kingdom 0 6342621 0 6342621 6342621 10.2 % 07/04/2015
Woodford Investment Management LLP United Kingdom 0 6763050 0 6763050 6763050 0 % 25/02/2015
Woodford Investment Management LLP United Kingdom 0 6763050 0 6763050 6763050 0 % 25/02/2015
The Karen L. Mehiel Siblings Trust : New York 50000 0 50000 0 50000 0.1 % 11/02/2015
Four M Purchasers LLC : Delaware 3324915 0 3324915 0 3324915 5.1 % 11/02/2015
Dennis Mehiel : United States 4075949 50000 4075949 50000 4125949 6.4 % 11/02/2015
Franklin Advisers, Inc. California 2621904 0 2621904 0 2621904 6.7 % 13/02/2014
Rupert H. Johnson, Jr. USA 4 4 4 4 2621904 7.8 % 13/02/2014
Franklin Resources, Inc. Delaware 4 4 4 4 2621904 6.7 % 13/02/2014
Charles B. Johnson USA 4 4 4 4 2621904 7.8 % 13/02/2014
Heights Capital Management, Inc. 1041666 2.3 % 13/02/2014
Capital Ventures International 1041666 2.3 % 13/02/2014
Heights Capital Management, Inc. 1041666 2.3 % 13/02/2014
Capital Ventures International 1041666 2.3 % 13/02/2014
Four M Purchasers LLC : Delaware 0 0 0 0 0 0 % 11/02/2014
Dennis Mehiel : United States 3203655 0 3203655 0 3203655 8 % 11/02/2014
Hal Mintz USA 0 2054200 0 2054200 2054200 4.49 % 08/01/2014
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 1454700 0 1454700 1454700 3.18 % 08/01/2014
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 599500 0 599500 599500 1.31 % 08/01/2014
Sabby Management, LLC Delaware USA 0 2054200 0 2054200 2054200 4.49 % 08/01/2014
Heights Capital Management, Inc. Delaware 0 3124999 0 3124999 3124999 7 % 29/11/2013
Heights Capital Management, Inc. Delaware 0 3124999 0 3124999 3124999 7 % 29/11/2013
Capital Ventures International Cayman Islands 0 3124999 0 3124999 3124999 7 % 29/11/2013
Capital Ventures International Cayman Islands 0 3124999 0 3124999 3124999 7 % 29/11/2013
Dennis Mehiel : United States 3248555 0 3248555 0 3248555 8.2 % 16/08/2013
Four M Purchasers LLC : Delaware 0 651974 0 651974 651974 1.6 % 16/08/2013
Sabby Management, LLC Delaware USA 0 2967482 0 2967482 2967482 9.99 % 18/04/2013
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 1010224 0 1010224 1010224 3.4 % 18/04/2013
Sabby Healthcare Volatility Master Fund, Ltd. Cayman Islands 0 2343421 0 2343421 2343421 7.89 % 18/04/2013
Hal Mintz USA 0 2967482 0 2967482 2967482 9.99 % 18/04/2013
InterMountain Capital I Corp364075407 Utah 0 0 0 0 0 0 % 15/10/2012
JFV Holdings, Inc.364426825 Illinois 0 0 0 0 0 0 % 15/10/2012
John M. Fife United States America 0 0 0 0 0 0 % 15/10/2012
Tonaquint, Inc.870285597 Utah 0 0 0 0 0 0 % 15/10/2012
Utah Resources International, Inc.870273519 Utah 0 0 0 0 0 0 % 15/10/2012
Terren S. Peizer United States 0 0 0 0 0 0 % 14/02/2012
Socius CG II, Ltd. Bermuda 0 0 0 0 0 0 % 14/02/2012
Socius Capital Group, LLC Delaware 0 0 0 0 0 0 % 14/02/2012
Sabra ICG, LLC Delaware 0 0 0 0 0 0 % 14/02/2012
Tonaquint, Inc. Utah 4584489 4584489 4584489 4.3 % 07/02/2012
JFV Holdings, Inc. Illinois 4584489 4584489 4584489 4.3 % 07/02/2012
John M. Fife United States of America 4584489 4584489 4584489 4.3 % 07/02/2012
Capital I Corp. Utah 4584489 4584489 4584489 4.3 % 07/02/2012
Utah Resources International, Inc. Utah 4584489 4584489 4584489 4.3 % 07/02/2012
John M. Fife United States of America 4145627 4145627 4145627 5.4 % 22/12/2011
Capital I Corp. Utah 4145627 4145627 4145627 5.4 % 22/12/2011
JFV Holdings, Inc. Illinois 4145627 4145627 4145627 5.4 % 22/12/2011
Tonaquint, Inc. Utah 4145627 4145627 4145627 5.4 % 22/12/2011
Utah Resources International, Inc. Utah 4145627 4145627 4145627 5.4 % 22/12/2011
Terren S. Peizer United States 4852228 0 4852228 0 4852228 6 % 11/03/2011
Sabra ICG, LLC California 4852228 0 4852228 0 4852228 6 % 11/03/2011
Socius Capital Group, LLC Delaware 4852228 0 4852228 0 4852228 6 % 11/03/2011
N/A Bermuda 4852228 0 4852228 0 4852228 6 % 11/03/2011
Patricia Peizer United States 4852228 0 4852228 0 4852228 6 % 11/03/2011

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District